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Topic: Self Auditing

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Financial audit

National Audit Office

Audit trails

Hong Kong Audit Bureau of Circulations

Central Supervisory and Auditing Commission

Audit telecommunication

Audit Bureau of Circulations

software audit

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Self Auditing

Australian National Audit Office

Rough Auditing Tool for Security

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	STATEMENT OF STEVEN A. HERMAN \| EPA Testimony Statements \| Legislative Hearings and Testimony \| Congressional and ...
		Audit privilege laws cripple law enforcement by concealing evidence relevant to environmental violations, including evidence about the cause of violations, the harm caused by violations, and how the violations can be prevented in the future, and evidence of criminal misconduct.
		Where there is an audit privilege law, the company's failure to act would not be available as evidence in an enforcement action to determine the cause of the problem or the extent of the harm nor would it be available to the farmer whose groundwater was contaminated by the release.
		To the extent violations revealed through an audit and disclosed under a state audit privilege and immunity law continue to be inadequately addressed, however, the agency may legitimately take action.
	www.epa.gov /ocir/hearings/testimony/105_1997_1998/031798.htm (2414 words)

	Site Auditing Self-Storage 101 Your Partner in Profitability
		Auditing your self-storage facility is one of the most important functions that you can perform to deter employee theft, increase your operational efficiency and that your employees are well-trained to follow your company’s policies and procedures.
		Audits should be done for several purposes, including the fact that the owner of a property has a multi-million dollar investment at stake.
		Audits should be done by the owner of the property or a qualified representative of the owner.
	www.selfstorage101.com /SiteAuditing.html (1739 words)

	FIELDWORK SAFETY GUIDELINES - 7. Auditing - OHSIM - The University of Sydney
		Auditing - OHSIM - The University of Sydney
		Auditing is used to test that the risk management systems adopted by a unit with regard to fieldwork safety are effective and that the application of these guidelines is both practical and effective.
		Auditing is the recommended method for determining that the unit has maximised its capacity to be responsible for safety of staff and students doing fieldwork.
	www.usyd.edu.au /ohs/ohs_manual/fieldwork/audit.shtml (293 words)

	A Guide for Hazardous Waste Generators to Perform RCRA Compliance Self-Audits
		The audit protocols are intended to promote consistency among regulated entities when conducting environmental audits and to ensure that audits are conducted in a thorough and comprehensive manner.
		The audit protocols are not intended to be exclusive or limiting with respect to procedures that may be followed.
		The audit protocol should be used as a planning tool to assist the auditor in understanding the requirements for conducting a comprehensive audit.
	www.ehso.com /Hazwaste/HazWasteSelf-audit.htm (6860 words)

	NewsRoom - Current Issue
		The point of the entire audit program is to clean up the claims files, and the fact that the claims administrator did not discover errors in the claims files until they were noticed for review does not change that.
		In addition to an Audit Unit penalty for the late Notice, the VRMA must be paid the TD rate and these costs cannot be applied to the cap.
		Fraud by the employer or the insurer involves both civil and criminal sanctions, and the procedures of the Audit Unit are not sufficient to address the potential for criminal sanctions.
	www.cwci.org /CGI-BIN/Issue_Detail.cfm?IssueId=18 (1596 words)

	[No title] (Site not responding. Last check: 2007-10-30)
		There is also Soloing, which is a higher level form of self auditing under the direction of a C/S that is used on many of the Clear and OT levels.
		This is usually the result of repeated no auditing from their auditors, or auditing is just too expensive, or they live on a deserted island, literally or figuratively.
		'No auditing' is a term that Ron invented to describe what many auditors do, they audit you, but the pc considers that no auditing is being done because the auditor is auditing what the auditor wants to audit, and not what the pc wants to audit and needs to audit to get better.
	www.lightlink.com /archives/homer/sci22.memo (1355 words)

	Environmental Auditing and Self Auditing Explained, with Links to Current State Regulations
		Environmental auditing used to be conducted only by firms that were already in the environmental "fishbowl", such as large chemical manufacturers and hazardous waste disposal companies.
		Privilege and immunity legislation for environmental audits now exists in at least eighteen states and bills are pending in many other states, as well as in the U.S. House and Senate.
		Audit Policy (PDF 88 KB) Policy on Incentives for Self-Policing, which provides potential penalty reductions for voluntary discovery and correction of environmental violations.
	www.ehso.com /selfaudit.htm (1550 words)

	HP-UX 10.20 man page: audit(5)
		The purpose of the auditing system is to record instances of access by subjects to objects and to allow detection of any (repeated) attempts to bypass the protection mechanism and any misuses of privileges, thus acting as a deterrant against system abuses and exposing potential security weaknesses in the system.
		To ensure that the auditing system operates normally and that any abnormal behaviors are detected, a privileged dae_mon program, audomon(1M), runs in the background to monitor various auditing system parameters.
		Prior to starting the auditing system, audsys(1M) also validates the parameters specified, and ensures that the auditing system is in a safe and consistent state.
	www.cae.wisc.edu /manuals/unix-man/hpux-10.20/audit.5.html (704 words)

	Hospital Bill Auditing Saves Money By Finding And Removing Overcharges
		Internal auditing controls that allow the routine payment of bills containing overcharges are inadequate and, hence, not in compliance with the law.
		Considering the actual loss of money due to the payment of hospital bills containing overcharges and the potential financial and criminal liability due to the violation of federal laws and regulations, a self-funded health plan that doesn't have its auditable hospital bills audited is acting imprudently and flirting with danger.
		Edward R. Waxman and Associates is in the business of auditing hospital bills--in fact, we specialize in auditing hospital bills for self-funded health plans.
	www.erwaxman.com (649 words)

	Auditing Your Plan Before the IRS or DOL Does (July 2003)
		Many companies are unaware that their plans have problems until the plan is audited by the IRS or investigated by the DOL.
		Plan sponsors and their key benefits personnel are concerned that the documentation or operation of their plans may have inadvertently fallen out of compliance with IRS and DOL standards.
		Companies should consider self-auditing their plans or hiring a professional who is experienced in auditing plans to determine if there are any problems with their plans.
	www.reish.com /publications/article_detail.cfm?ARTICLEID=394 (600 words)

	Auditing (Site not responding. Last check: 2007-10-30)
		The percentage of audit log file space used or minimum file system free space used after which warning messages are sent to the console.
		To reduce the amount of audit log data collected and to provide for more meaningful notations in the audit log files, some of these processes are programmed to suspend auditing of the actions they invoke and produce one audit log entry describing the process that occurred.
		When either the AFS or the FSS of the primary log file is reached, the auditing subsystem attempts to switch to the auxiliary log file for recording audit data.
	docs.hp.com /en/5991-1821/ch06s03.html (1946 words)

	Auditing and Self Inspection September 2006 - Honeyman Group Ltd
		Therefore it is necessary for self inspections to be adequately planned, performed, and comprehensive in nature.
		The principles of self-inspection are being increasingly applied to suppliers and service providers to the pharmaceutical industry and whilst many can be applied in such external audit situations, there can be significant differences in practice when inspecting, for example, API manufacturers, packaging material suppliers, contract manufacturers of analytical services.
		This course is intended for personnel at all management levels who may be involved with the organisation and performance of self inspections and/or external audits.
	www.honeyman.co.uk /honeyman_auditng_and_self_inspection_course_2006.html (1018 words)

	Environmental Expert.com. The Basics of EH&S Self-Auditing
		Internal auditing, or self-auditing, is increasingly being used to address this challenge.
		Internal auditing, or self-auditing, is a tool that is increasingly being used to address this challenge.
		When using the term “self-audit,” I refer to environment, health, and safety (EH&S) compliance audits that are performed by an organization’s own personnel, or by an outside third-party retained on its behalf.
	www.environmental-expert.com /resulteacharticle4.asp?cid=6477&codi=5984 (327 words)

	Self regulation: an assessment by SECPS members. \| Banking, Finance and Accounting Industries (Site not responding. Last check: 2007-10-30)
		QC program development Allegations of audit failures and concerns about financial reporting fraud underscore the importance of the profession's efforts to develop a QC program and communicate its effectiveness.
		The effects of industry specialization on audit risk assessments and audit-planning decisions.
		"Self regulation: an assessment by SECPS members." is an article from the Banking, Finance and Accounting Industries category.
	www.allbusiness.com /periodicals/article/374473-1.html (750 words)

	ChemAlliance: Environmental Self-Audits (Site not responding. Last check: 2007-10-30)
		Auditing of compliance with regulations together with the effectiveness of the entire EMS will provide the most value to a company looking to enhance its environmental performance.
		The objectives of the audit should be clearly established, and everyone involved must be aware of the regulations (federal, state and/or local) that apply to the company as well as any corporate policies that are to be reviewed.
		Audits should be conducted by walking through the facility and using visual inspection and interviews with employees to assess current activities.
	www.chemalliance.org /Columns/040811a.asp (2173 words)

	Self-Auditing Crucial as IRS Raises Scrutiny \| workforce.com
		Thanks to an increased budget, the agency has hired 50 examiners and expects to conduct audits of 10,000 plans next year, up 10 percent from this year.
		On average, 60 percent of audits of large-company plans find some issue, and the IRS is hoping that the percentage will increase as it makes its exams more focused.
		For example, one common audit issue mentioned on the Web site is when companies are acquired and do not credit employees from the acquired company with the proper years of service.
	www.workforce.com /section/00/article/24/18/84.html (569 words)

	AQMD Prosecutor's Office - General Compliance Policy
		It is the policy of the Prosecutor’s Office to support companies which audit their own facilities and correct any AQMD rule violations in a timely manner.
		Depending on the circumstances of the case, a penalty sought for a violation discovered through self-auditing and promptly reported to the AQMD should be significantly reduced or when appropriate, waived in order to encourage all facilities to implement an effective self-auditing program.
		The Prosecutor’s Office’s self auditing penalty policy is founded on the basic principle that violations which are self-audited, disclosed and corrected warrant penalties that are consistently and predictably lower than penalties for violations which are discovered by the AQMD.
	www.aqmd.gov /legal/prosecpolicy-selfaudit.html (646 words)

	Dakota Software – product user group conferences
		As Environmental Audits Manager, Mike described Atofina Chemical's reasons for using Dakota Auditor: improving efficiency of corporate audits, meeting requirements of ISO 14001, increasing interactions between operations and EHS staff, training new staff members and corporate-wide standardization.
		Mark discussed the development of the audit program, changes that were made and modifications being considered for the future as they begin their second round of audits.
		Auditing is an open process at Universal Foods, which contributes to the success of their program.
	www.dakotasoft.com /customer/usergroup.asp (1771 words)

	Auditing the self-employed - TaxGaga
		Between the self-employed guy, and the guy who works for a electric company with the exact same taxable income, deductions, and tax credits the chance of the self-employed guy getting audited is higher than the guy who works for the electric company.
		You made a mistake somewhere along the way or they picked you randomly to be audited.
		Whatever the reason get ready to get audited and in most cases no one walks away from an audit without owing something.
	www.taxgaga.com /pages/c-taxtrouble/selfemployed.html (307 words)

	SAVV - Self-Auditing Verified Voting
		There are dozens of ways to easily commit untraceable fraud and most electronic voting systems do not have any way to fully audit the vote.
		Anyone who has participated in auditing and recounts knows that it is virtually impossible to tell where the errors might be and, that fraud and errors can be very subtle.
		It will improve accuracy, eliminate the need for most recounts and audits, is electronic fraud resistant, and can be implement quickly using existing hardware.
	www.savv.org (619 words)

	More on Self Analysis by L. Ron Hubbard - Dianetics Bookstore
		Self Analysis is a complete do-it-yourself handbook for anyone who wants to improve memory, ability and happiness.
		This type of auditing was named “Straightwire.” Then, in the summer of 1951, in Wichita, Kansas, came a major technical breakthrough: ht developed a new type of Straightwire, with the added benefit that it could be run on almost any pc via written directions alone (without an auditor present).
		“Self Analysis helped me to realize my life contained more joy and emotional security than pain.
	www.lronhubbard.org /BOOK/dnbook/books/DL4M.HTM (319 words)

	Understanding Scientology / Scientology Auditing and Its Offshoots
		Hubbard claimed that E-meter "reads" confirmed his notions about events, images and words making up a destructive mind he called the "bank." In the auditing procedure, the readings are supposed to signify the presence and dispersal of "charge" present in the events and other "bank" material.
		His prime incentive, to succeed at auditing, is channeled through the inculcation of "stable data," "R-factor," and his own auditing experience.
		He fell victim to the delusions he fostered in others, and it is known that, right up to his demise or shortly before, he audited himself, or was audited, on his pack of "creatures." Perhaps he, and "they," should be put to rest.
	www.cs.cmu.edu /~dst/Library/Shelf/wakefield/us-a1.html (3678 words)

	Security Park - The Self Auditing Database is Risky Business
		The first is that the audit tool is the only element of the database that is not vulnerable to attack.
		Audit mechanisms are just as likely to be vulnerable as any other database element.
		Audit appliances, on the other hand, operate at line speed and have zero impact on database resources.
	www.securitypark.co.uk /article.asp?articleid=24736&CategoryID=1 (916 words)

	CPE - Accounting & Auditing Self Study Materials from Western CPE
		The objective of this course to learn the procedure for acquiring temporary exemptions and soliciting guidance for audit organizations and audited entities in the event of lost and/or destroyed documentation.
		Ideal for all audit organizations and audited entities affected by Hurricanes Katrina and Rita, this detailed, step by step course will reveal new procedures instituted by the Comptroller General.
		Auditing Standard 2 provides guidance when an auditor is engaged to audit both a company’s financial statements and management’s assessment of the effectiveness of internal control over financial reporting.
	www.westerncpe.com /self/selfDetails.cfm?thisType=12&online=Y (1358 words)

	SSRN-Do We Need the Corporate Self-Evaluative Privilege? by Jay Kesan, Birendra Mishra
		In contrast, a legal regime that grants regulatory access to a firm's internal audit materials creates a positive incentive for firms to engage in self-policing and results in a higher self-auditing rate compared to an inspection regime (i.e., no regulatory access, thereby permitting inspections only).
		In addition, any disincentive to the firm to engage in self-policing can be minimized by limiting the admissibility of audit materials in third-party legal proceedings.
		Thus, as an alternative to the corporate SEP, we envision a combination of measures that maximizes the extent and probability of corporate self-policing comprising: (a) permitting regulatory access to self-audits; (b) limiting the admissibility of audit materials in third-party proceedings against the firm; and (c) providing mitigated penalties for firms engaging in good faith self-policing.
	papers.ssrn.com /sol3/papers.cfm?abstract_id=279300 (425 words)

	[Opensource] self auditing and archiving DBObjects (Site not responding. Last check: 2007-10-30)
		I just checked in four classes that will allow DBObjects to audit themselves when they are changed (who changed the object, when, to which object) and also archive a version of each record upon an add or update, to have a record of every revision of a "row" in a DBObject.
		The objects are in CVS as follows: com.jcorporate.expresso.core.dbobj.AuditedSecuredDBObject - DBObjects that inherit from this object are always audited with an entry to the AuditLog (see below).
		For example - in high security areas or applications that need to keep audit records, such as financial transactions.
	www.jcorporate.com /pipermail/opensource/2002-January/016157.html (294 words)

	Concerns over auditing quality complicate the future of accounting. \| Banking, Finance and Accounting Industries (Site not responding. Last check: 2007-10-30)
		A multistage approach to external auditors' evaluation of the internal audit function.
		The Effects of internal audit structure on perceived financial statement fraud prevention.
		The comparative impact of an audit report standard and an audit going-concern standard on going-concern disclosure rates.
	www.allbusiness.com /periodicals/article/354356-1.html (736 words)

	SSRN-Encouraging Firms to Police Themselves: Strategic Presentations to Promote Corporate Self-Auditing by Jay Kesan
		In contrast, a legal regime that grants regulatory access to internal audit materials creates a positive incentive for firms to engage in self-policing.
		Under this analysis, a multi-pronged embrace measures that create positive incentives for firms to engage in self-policing, such as permitting regulatory access to audit materials and providing mitigated penalties for firms engaging in self-policing.
		As part of such a regime, limiting the admissibility of audit materials in third-party proceedings reduces the disincentive for firms to engage in self-policing.
	papers.ssrn.com /sol3/papers.cfm?abstract_id=263835 (433 words)

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